Research & Funded Projects Non Fiscal Compliance

The Office of Sponsored Programs works to keep informed and up to date on the vast compliance laws and regulations that accompany research and sponsored projects. By promoting the highest standards of ethics and integrity through awareness, training, education, monitoring, oversight, and appropriate responses to issues the overall compliance consciousness is achieved. OSP serves to support faculty and staff effectively and efficiently in the practical and operational aspects of research and sponsored projects as it pertains to the following compliance departments/compliance efforts:

Financial Conflict of Interest (FCOI)A Principal Investigator (PI) or Project Director (PD) should have no conflict of interest that would affect the conduct of a project. Policy requires that an employee of the university who applies for grants or cooperative agreements from any sponsor for research or other sponsored activities, or otherwise submits a proposal for sponsored activities to any entity, ensures that there is no reasonable expectation that the design, conduct, and reporting of research will be biased by any significant financial interest of a PI/PD responsible for the research or other sponsored activity. FCOI is required for all NIH/NSF awards applied for and/or received after August 24, 2012.

Responsible Conduct of Research (RCR)In compliance with the National Science Foundation's (NSF) policy in response to provisions of the America COMPETES Act, ORU developed a plan to provide appropriate training and oversight in the responsible and ethical conduct of research to undergraduate students, graduate students, and postdoctoral researchers participating in NSF-funded research.

Protection of Human Research Subjects (IRB)The Institutional Review Board (IRB) is responsible for reviewing and approving research involving the use of human subjects, including surveys. Principal Investigators (PIs) proposing research using human subjects at any level should review related policies and are encouraged to communicate with and submit the appropriate application to the chair of the IRB early in the process. This includes research conducted by students. Many agencies require documentation of IRB approval, or that the IRB process has been initiated, in the funding application. Copies of IRB approval letters and/or e-mails for all externally funded projects must be provided to OSP.

Animal Care and Use (IACUC)The Institutional Animal Care and Use Committee (IACUC) oversee and evaluate all aspects of the institution's animal care and use program. Protocols and precautions must be put in place to protect the user as well as the particular animal species of laboratory animals for research or instructional purposes. Only properly trained personnel are allowed to handle and dispose of animals. Most federal agencies require that protocols using animals be reviewed and approved by the IACUC prior to proposal submission.

Export Control RegulationsExport control regulations are federal laws that prohibit the unlicensed export of certain goods, products, or information for national security and to protect trade. The interpretation of these regulations requires a certain level of expertise because they require classification of commodities, and export and licensing determinations.

Export controls are usually associated with the destination of the export (country, organization, etc.) and the potential use of the export (military or economic use). Exports can occur through shipping, oral communications, written documentation (including e-mails), and visual inspections of any technology, software or technical data to any non-U.S. citizen, whether in the U.S. or abroad. For further information, refer to the EAR or ITAR regulations.

Travel outside the U.S. also can present export control issues for ORU faculty and staff, specifically if you take items from work such as lap tops, data, technology, blueprints/schematics, and similar items. The destination country and the individuals or entities you interact with also may present export control issues and may require a license from the Departments of Commerce, State, or Treasury. Shipping certain items outside the U.S. also could require a license.

Materials TransferA Material Transfer Agreement (MTA) is a contract that governs the transfer of tangible research materials between two organizations, when the recipient intends to use it for his or her own research purposes. A MTA cover both faculty research material as well as any materials a student may be transferring from or out to a business (senior project materials).

A MTA defines the rights of the provider and the recipient with respect to the materials and any derivatives. MTAs may include but are not limited to chemical compounds, durable goods, equipment and even some types of software. There are three common types of MTA at the University, each requiring a different set of terms and conditions:

•transfer between academic or research institutions•transfer from academia to industry•transfer from industry to academia

Intellectual PropertyORU recognizes and encourages the publication of scholarly works and advancement of technology and engineering as an integral part of its educational mission. ORU Intellectual Property Policy is design to encourage creation of artistic work, for the disclosure of discoveries and inventions, and in order to reward such activity. When dealing with IP issues, all individuals holding any form of employment or appointment at ORU (with or without compensation), any person who has student status, or any person or entity using or employing ORU facilities or resources (excluding libraries) will be considered a 'covered person'. Covered Persons include faculty, professional and non- professional staff, fellows, undergraduate and graduate students, persons with adjunct appointments, and visiting professors.